James V. Caricola
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James V Caricola was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2004. James had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2013 - April 30, 2014
WOODSTOCK FINANCIAL GROUP, INC.
October 10, 2012 - March 6, 2013
ROCKWELL GLOBAL CAPITAL LLC
January 3, 2012 - August 17, 2012
EKN FINANCIAL SERVICES INC.
January 30, 2009 - January 23, 2012
WOODSTOCK FINANCIAL GROUP, INC.
October 9, 2008 - January 30, 2009
JHS CAPITAL ADVISORS, LLC
October 28, 2005 - September 22, 2008
J.P. TURNER & COMPANY, L.L.C.
August 13, 2004 - October 31, 2005
BRUNDYN SECURITIES INC.
March 30, 2004 - August 11, 2004
NORTH AMERICAN CLEARING, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
Red Flags
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